u.s. department of state. department of state freedom of information act annual report fiscal year...

U.S. DEPARTMENT OF STATE

FREEDOM OF INFORMATION ACT

ANNUAL REPORT

FISCAL YEAR 2014

2

I. BASIC INFORMATION REGARDING REPORT

1. Questions about this report may be addressed to:

John F. Hackett

Acting Director, Office of Information Programs and Services

A/GIS/IPS, SA-2, Room 5021

U.S. Department of State

Washington, D.C. 20522-8100

Telephone: (202) 261-8484

Fax: (202) 663-2764

2. This report is available on our web site at http://www.foia.state.gov.

3. Paper copies of this report may be requested by contacting A/GIS/IPS at the above address.

II. MAKING A FREEDOM OF INFORMATION ACT (FOIA) REQUEST

1. FOIA requests to the Department must be in writing. Requests may be submitted in any of the

following ways:

Mail to: Office of Information Programs and Services, A/GIS/IPS, SA-2, Department of State,

Washington, D.C. 20522-8100; or

Fax to (202) 261-8579; or

On-line at our website: http://www.foia.state.gov

FOIA requests should describe the records sought as precisely as possible and include details such as

a specific topic, a time frame for the records’ creation, and (if applicable) the domestic or overseas

post or office where they were created or received. The more specific the request, the more quickly

it can be processed and the greater the likelihood that responsive records (if any exist) can be located

and reviewed. Requests seeking access to information pertaining to an individual should include the

individual’s complete name, date and place of birth, and citizenship status (if known). A request for

records about oneself must include verification of identity. A request for records about an individual

other than the requester should include verification of identity with properly executed authorization

from the subject individual or evidence of the individual’s death, as appropriate, in order to gain the

greatest access to those records. More information about verification of identity and proper

authorization is found on our website. If such documentation cannot be provided, the request should

indicate that fact. The request should also indicate the requester’s willingness to pay applicable fees

or provide appropriate justification to support a fee waiver. Guidance regarding fees and fee waiver

requests is also available on our website.

http://www.foia.state.gov/

3

If mailing or faxing a FOIA request, the envelope or subject line of the fax coversheet should be

clearly labeled: “Freedom of Information Act Request.” It is important that all requests include a

valid daytime telephone number, e-mail address, or both, where we can reach the requester to

discuss the request as necessary.

Requests may also be made on-line at the Department’s FOIA website (http://www.foia.state.gov).

This site contains an electronic request tool and helpful tips to assist requesters in formulating their

requests.

We can only process requests that comply with our published regulations. The Department is unable

to process requests that do not contain enough information to permit the Department to locate the

requested records or that otherwise do not comply with Department regulations.

If necessary, we will contact the requester by telephone or e-mail to obtain whatever additional

information is needed to validate a request. If we cannot reach the requester within a reasonable

amount of time, we will send a letter to the requester explaining what is needed and ask the requester

to resubmit the request with the additional information.

We make every attempt to promptly advise the requester of the case number assigned to the request

and whether the request is valid pursuant to the Department’s regulations.

If information is withheld, the requester will be notified of the approximate amount of information

withheld, the basis for the withholding, and how to file an administrative appeal. For more

information about filing an appeal, please visit our website at http://www.foia.state.gov. You may

also contact the Department’s FOIA office by calling (202) 261-8484, or writing to the following

address:

Office of Information Programs and Services

A/GIS/IPS, SA-2

Department of State

Washington, D.C. 20522-8100

The Office of Inspector General (OIG) is a separate component within the Department of State. The

OIG directly responds to requests for records that are exclusively OIG-related, such as those related

to OIG inspections, audits, or investigations.

FOIA requests for OIG records must be made in writing by mail, fax or e-mail as follows:

U.S. Department of State

Office of Inspector General

Office of General Counsel

Washington, DC 20522-0308

ATTN: FOIA Officer



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Fax: (202) 663-0390

Phone: (202) 663-0383

E-mail: [email protected]

Website: http://oig.state.gov/foia/

2. The Department of State is responsible for formulating and executing U.S. foreign policy and

U.S. foreign relations. Records are maintained throughout the world at posts, missions, and

consulates, as well as domestically. The Department also maintains records of applications from

U.S. citizens for U.S. passports, visa requests from non-citizens abroad, and records of its own

employees, as well as other types of documents. Because of the nature and scope of the

Department’s records holdings, including sensitive and classified records, we rely on the full

range of exemptions when making a release determination. In implementing the Department’s

mission, we work closely with many other Federal agencies and international partners. For this

reason, the Department often must first consult with other, at times multiple, Federal agencies

and foreign governments that have an interest in the records, which adds time and complexity to

the FOIA process. The exemptions most often relied upon to withhold information are shown in

Table V.B.3. In addition, we receive a large volume of FOIA referrals from other agencies,

which also contributes to the Department’s FOIA processing workload.

3. The Department’s FOIA regulations are codified at 22 C.F.R. Part 171. The Department is in the

process of updating these regulations. These regulations are available through the Government

Printing Office’s (GPO) website at http://www.gpoaccess.gov/cfr/index.html or on our website at

http://www.foia.state.gov. The most recent fee schedule is found in the Information Access

Guide at http://www.foia.state.gov.

III. ACRONYMS, DEFINITIONS, AND EXEMPTIONS

1. Agency-Specific and Basic Terms

a. A/GIS/IPS – Bureau of Administration (A), Deputy Assistant Secretary for Global

Information Services (GIS), Office of Information Programs and Services (IPS).

b. OIG – Office of Inspector General.

c. Administrative Appeal – a request to a federal agency asking that it review at a higher

administrative level a FOIA determination made by the agency at the initial request level.

d. Average Number – the number obtained by dividing the sum of a group of numbers by

the quantity of numbers in the group. For example, of 3, 7, and 14, the average number is

8.

e. Backlog – the number of perfected requests or administrative appeals that are pending at

an agency at the end of the fiscal year that are beyond the statutory time period for a

mailto:[email protected]

http://oig.state.gov/foia/

http://www.gpoaccess.gov/cfr/index.html



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response.

f. Component – for agencies that process requests on a decentralized basis, a “component”

is an entity, also sometimes referred to as an Office, Division, Post, Bureau, Center, or

Directorate, within the agency that processes FOIA requests. The FOIA requires that

agencies include in their Annual FOIA Report data for both the agency overall and for

each principal component of the agency.

g. Consultation – the procedure whereby the agency responding to a FOIA request

forwards information to another agency for review because the other agency has an

interest in the information. When the agency in receipt of the consultation completes its

review, it advises the agency that initiated the consultation of its release determination.

The initiating agency will then respond to the FOIA requester.

h. Exemption 3 Statute – a federal statute that specifically exempts information from

disclosure, which an agency relies on to withhold information under Exemption 3 of the

FOIA, 5 U.S.C. § 552(b)(3), in response to a request. Many Exemption 3 statutes contain

non-discretionary prohibitions against disclosure, such as one found in the Immigration

and Nationality Act.

i. FOIA Request – an information access request processed under the Freedom of

Information Act by the federal agency in receipt of the request. FOIA requests may seek

access to records concerning another person (i.e., a “third-party” request), an

organization, or a particular topic of interest. FOIA requests also include requests made

by individuals seeking records concerning themselves (i.e., “first-party” requests) when

those individuals are not subject to the Privacy Act of 1974 (i.e., individuals who are

neither U.S. citizens nor lawful permanent residents). Federal agencies process first-

party requests submitted by U.S. citizens and lawful permanent residents under both the

FOIA and the Privacy Act in order to provide the greatest degree of access to the

requested information. Additionally, a FOIA request includes records referred to the

agency from another agency for processing and direct response to the requester (see

Section V of this report).

j. Full Grant – an agency decision to disclose in full all records located in response to a

FOIA request.

k. Full Denial – an agency decision not to disclose any records in response to a FOIA

request because the records are exempt in their entireties under one or more of FOIA’s

nine exemptions, or because of a procedural reason, such as when no records could be

located.

l. Median Number – the middle, not average, number. For example, of 3, 7, and 14, the

median number is 7.

m. Multi-Track Processing – a system in which requests are placed in different processing

tracks on the basis of the complexity of the search and/or review of the responsive

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material. For example, requests placed in the simple request track are anticipated to

require relatively minimal search time to locate responsive records, which will result in a

small amount of material to review. The complex request track contains requests that

require multiple searches that are anticipated to locate more voluminous responsive

records for review. Requests granted expedited processing are placed in a separate

queue. Requests in each track are processed on a first-in/first-out basis.

i. Expedited Processing – an agency will process a FOIA request on an expedited

basis when a requester satisfies the requirements for expedited processing as set

forth in the statute and in agency regulations.

ii. Simple Request – a FOIA request that an agency using multi-track processing

places in its fastest (non-expedited) track based on the low volume and/or

simplicity of the records requested.

iii. Complex Request – a FOIA request that an agency using multi-track processing

places in a slower track based on the high volume and/or complexity of the

records requested.

n. Partial Grant/Partial Denial – an agency decision to withhold exempt information

appearing in a portion or portions of the responsive records in response to a FOIA

request, or to otherwise deny a portion of the request for a procedural reason.

o. Pending Request or Pending Administrative Appeal – a request or administrative

appeal for which an agency has not taken final action in all respects.

p. Perfected Request – a request for records which reasonably describes the requested

information and is made in accordance with the agency’s published regulations.

q. Processed Request or Processed Administrative Appeal – a request or administrative

appeal for which an agency has taken final action in all respects.

r. Range in Number of Days – the lowest and highest number of days to process requests

or administrative appeals.

s. Referral – the procedure whereby the agency responding to a FOIA request forwards

information that originated with another agency to that agency for its review. When the

originating agency completes its review of the referred information, it responds directly

to the FOIA requester.

t. Time Limits – the time period contained in the FOIA within which an agency must

respond to a FOIA request (ordinarily twenty working days from the date of receipt of a

perfected FOIA request).

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2. Concise descriptions of the nine FOIA exemptions:

a. Exemption 1: classified national defense and foreign relations information

b. Exemption 2: internal personnel rules and practices of an agency

c. Exemption 3: information that is specifically exempted from disclosure by another

federal law

d. Exemption 4: trade secrets and other confidential business information

e. Exemption 5: inter-agency or intra-agency communications that are protected by legal

privileges

f. Exemption 6: information involving matters of personal privacy

g. Exemption 7: records or information compiled for law enforcement purposes, to the

extent that the production of those records (A) could reasonably be expected to interfere

with enforcement proceedings, (B) would deprive a person of a right to a fair trial or an

impartial adjudication, (C) could reasonably be expected to constitute an unwarranted

invasion of personal privacy, (D) could reasonably be expected to disclose the identity of

a confidential source, (E) would disclose techniques and procedures for law enforcement

investigations or prosecutions, or would disclose guidelines for law enforcement

investigations or prosecutions, or (F) could reasonably be expected to endanger the life or

physical safety of any individual

h. Exemption 8: information relating to the regulation or supervision of financial

institutions

i. Exemption 9: geological or geophysical information on wells

8

3. Agency Component Abbreviations

Component Abbreviation Component Name

DoS Department of State

OIG Office of Inspector General

9

IV. EXEMPTION 3 STATUTES

Statute Type of Information

Withheld Case Citation

Agency /

Component

Number of

Times

Relied upon

by Agency /

Component

Total Number

of

Times Relied

upon

by Agency

Overall

8 U.S.C. 1202(f) (Immigration

and Nationality Act)

Records pertaining to the issuance

or refusal of visas or permits to

enter the United States

Medina-Hincapie v. Dep’t of State,

700 F.2d 737, 741-42

(D.C. Cir. 1983). DeLaurentiis v.

Haig, 686 F.2d 192, 194 (3d Cir.

1982); Beltranena v. U.S. Dep't of

State, 821 F. Supp. 2d 167, 177-78

(D.D.C. 2011); Badalamenti v. U.S.

Dep't of State, 899 F. Supp. 542,

547 (D. Kan. 1995); Jan-Xin Zang v.

FBI, 756 F. Supp. 705, 711-12

(W.D.N.Y. 1991); Smith v. DOJ, No.

81-CV-813, 1983 U.S. Dist. LEXIS

10878, at *13-14 (N.D.N.Y. Dec. 13,

1983); Holy Spirit Ass'n for

Unification of World Christianity,

Inc. v. U.S. Dep't of State, 526 F.

Supp. 1022, 1031 (S.D.N.Y. 1981).

DoS 9,261

9,262

OIG 1

10 U.S.C.

§ 424

Organization or any function of, and

certain information pertaining to,

employees of the Defense

Intelligence Agency, the National

Reconnaissance Office, and the

National Geospatial-Intelligence

Agency

Physicians for Human Rights v.

DOD, No. RDB-08-273, 2011 WL

1495942, at *7 (D.D.C. Apr. 19,

2011); Miller v. DOJ,

562 F. Supp. 82, 112

(D.D.C. 2008); Wickwire Gavin,

P.C. v. DIA, 330 F. Supp. 2d 592,

602 (E.D. Va. 2004).

DoS 12

12

10



Agency /

Component

Number of

Times

Relied upon

by Agency /

Component

Total Number

of

Times Relied

upon

by Agency

Overall

OIG 0

22 U.S.C. § 2778(e)

(Arms Export Control Act)

Certain information pertaining

to export license applications

Council for a Livable World

v. U.S. Dep't of State, No. 96-

1807, slip op. at 11 (D.D.C.

Jan. 21, 1998), amended

(D.D.C. Nov. 23, 1998).

DoS 7

7 OIG 0

50 U.S.C. § 403g (Central

Intelligence Agency Act of

1949)

Intelligence sources and methods;

certain information pertaining to CIA

employees, specifically: “the

organization, functions, names,

official titles, salaries, or numbers of

personnel employed by the Agency"

Larson v. Dep’t of State, 565 F.3d

857, 865 n.2 (D.C. Cir. 2009);

Berman v. CIA, 501 F.3d 1136,

1137-38, 1140 (9th Cir. 2007);

Makky v. Chertoff, 489 F. Supp. 2d

421, 442 (D.N.J. 2007), aff’d on

other grounds, 541 F.3d 205 (3d

Cir. 2008).

DoS 15

15

OIG 0

50 U.S.C. § 402 note

(National Security Agency

Act of 1959)

Information pertaining to the

functions or organization of

NSA; certain information

pertaining to NSA employees

ACLU v. DOJ, 681 F.3d 61, 72-75

(2d Cir. 2012); Elec.

Priv. Info. Ctr. v. NSA, 678

F.3d 926, 931 (D.C. Cir.

2012); Houghton v. NSA, 378

F. App'x 235, 238-39 (3d Cir.

DoS 5

5

11



Agency /

Component

Number of

Times

Relied upon

by Agency /

Component

Total Number

of

Times Relied

upon

by Agency

Overall

2010) (per curiam); Lahr v.

NTSB, 569 F.3d 964, 985 (9th (D.C.

Cir. 1979); Larson v. Dep't of

State, 565 F.3d 857, 868-69

(D.C. Cir. 2009); Founding

Church of Scientology v.

NSA, 610 F.2d 824, 827-28 (D.C.

Cir. 1979); Roman v.

NSA, No. 07-CV-4502, 2009

WL 303686, at *5-6

(E.D.N.Y. Feb. 9, 2009),

summary affirmance granted,

354 F. App'x. 591 (2d Cir.

2009)

OIG 0

41 U.S.C. §

4702

(formerly 41 U.S.C. §

253b(m)(1))

Contractor proposals that are in

the possession or control of an

executive agency and that have

not been set forth or

incorporated by reference into

contracts

Sinkfield v. HUD, No. 10-

885, 2012 U.S. Dist. LEXIS

35233, at *13-15 (S.D. Ohio

Mar. 15, 2012); Margolin v.

NASA, No. 09-CV-00421,

2011 WL 1303221, at *6 (D.

Nev. Mar. 31, 2011);

Hornbostel v. U.S. Dep't of

the Interior, 305 F. Supp. 2d

21, 30 (D.D.C. 2003),

summary affirmance granted,

No. 03-5257, 2004 WL

1900562 (D.C. Cir. Aug. 25,

DoS 3

3

12



Agency /

Component

Number of

Times

Relied upon

by Agency /

Component

Total Number

of

Times Relied

upon

by Agency

Overall

2004).

OIG 0

50 U.S.C. § 403-1(i)(1)

(National Security Act of

1947)

Intelligence sources and methods CIA v. Sims, 471 U.S. 159,167

(1985); Berman v. CIA, 501 F.3d

1136, 1137-38, 1140 (9th Cir.

2007); Wolf v. CIA, 473 F.3d 370,

378, 380 (D.C. Cir. 2007).

DoS 2

2

OIG 0

49 U.S.C. § 40119(b)

(Federal Aviation Act)

Certain information obtained or

developed in ensuring

transportation security if

disclosure of that information

would: constitute an invasion

of personal privacy, reveal a

trade secret or confidential

commercial or financial

information, or be detrimental

to transportation safety

Pub. Citizen, Inc. v. FAA, 988

F.2d 186, 194 (D.C. Cir.

1993); Gordon v. FBI, 390 F.

Supp. 2d 897, 900 (N.D. Cal.

2004).

DoS 2

2

13



Agency /

Component

Number of

Times

Relied upon

by Agency /

Component

Total Number

of

Times Relied

upon

by Agency

Overall

OIG 0

10 U.S.C. § 130b Personally identifiable

information pertaining to

members of the armed forces

assigned to "routinely

deployable unit[s]" and certain

employees of DOD and DHS

Hall v. CIA, No. 04-00814,

2012 WL 3143839, at * 16

(D.D.C. Aug. 3, 2012); Hiken

v. DOD, 521 F. Supp. 2d

1047, 1062 (N.D. Cal. 2007);

O'Keefe v. DOD, 463 F.

Supp. 2d 317, 325 (E.D.N.Y.

2006); Windel v. United

States, No. A02-306, 2005

WL 846206, at *2 (D. Alaska

Apr. 11, 2005).

DoS 9

9

OIG 0

26 U.S.C. §§ 6103, 6105

(Internal Revenue Code)

Certain tax return information,

to include Taxpayer

Identification Numbers of third

parties, and certain tax

convention information

Church of Scientology v. IRS,

484 U.S. 9, 15 (1987)

(26 U.S.C. § 6103); Pac.

Fisheries, Inc. v. IRS, 395 F.

App'x. 438, 440 (9th Cir.

2010) (unpublished

disposition) (26 U.S.C.

§§ 6103, 6105); Leonard v.

U.S. Dep't of Treasury, No.

10-6625, 2013 WL 4517912,

at *2 (D.N.J. Aug. 26, 2013)

(26 U.S.C. § 6103); Tax

Analysts v. IRS, 217 F. Supp.

2d 23, 27-29 (D.D.C. 2002)

DoS 1

1

14



Agency /

Component

Number of

Times

Relied upon

by Agency /

Component

Total Number

of

Times Relied

upon

by Agency

Overall

(26 U.S.C. § 6105).

OIG 0

50 U.S.C. app. § 2411(c)

(Export Administration Act of

1979)

Information pertaining to license

applications under the Export

Administration Act

Wis. Project on Nuclear Arms

Control v. U.S. Dep't of Commerce,

317 F.3d 275, 284 (D.C. Cir. 2003);

Times Publ'g Co. v. U.S. Dep't of

Commerce, 236 F.3d 1286, 1292

(11th Cir. 2001); Lessner v. U.S.

Dep't of Commerce, 827 F.2d 1333,

1336-37 (9th Cir. 1987).

DoS 2

2

OIG 0

Convention on Nuclear

Safety, Article 27

Information provided by a party to

the convention and identified by that

party as protected.

A treaty is presumed to qualify as a

statute under Exemption 3 because

of Senate approval. No court

decision.

DoS 1

1

OIG 0

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V.A. FOIA REQUESTS -- RECEIVED, PROCESSED AND PENDING FOIA REQUESTS

Many FOIA/Privacy Act requests to the Department require searches of multiple records systems,

offices, and/or overseas posts. In an effort to provide more efficient responses to requests, the

Department typically processes these requests incrementally. Thus, as we retrieve and review material

responsive to these requests, we process it and provide responsive nonexempt records to the requester on

a rolling basis rather than waiting until all searches and reviews are done. However, when we calculate

how long it takes to process a request, we base the calculation on the date of the Department’s

completion of processing, and incremental releases are not reflected in that calculation.

In fiscal year 2014, the Department made substantial progress towards its commitment to transparency

and openness. Throughout fiscal year 2014, the Department continued to add previously released FOIA

records to its FOIA website at www.foia.state.gov, which was newly reconfigured in fiscal year 2013.

The website makes already-public information easier to find, and allows the public to file FOIA requests

more easily. The website features search functions and more detailed information and guidance on how

to get access to Department records and information.

The website’s Virtual Reading Room contains over 96,000 documents about a wide range of topics that

have already been released to the public pursuant to FOIA, mandatory declassification review requests

under Executive Order 13526, or other declassification reviews and. In fiscal year 2014, the Department

added approximately 7,200 documents to the website and will continue to increase the amount of

information available to the public on the FOIA website. There is also a wealth of other links to

additional information resources inside and outside the State Department, including a link to declassified

Department records available online at the National Archives and Records Administration.

The Department’s website has continued to attract significant positive attention from other agencies and

the FOIA requester community. The Department has received some helpful feedback regarding users’

experience in visiting the website and will continue to make improvements to the site to enhance its

effectiveness. In fiscal year 2014, the website has hosted an average of over 400 visitors daily.

While the FOIA website continues to provide ready access to Department records, the Department

continues to meet challenges in processing a high volume of new requests. In fiscal year 2014, the

number of requests received increased, while staffing decreased and resources were reallocated

throughout the year to assist with special document productions. With these challenges, the FOIA staff

at the Department continued to manage high caseloads and provide quality responses to requests that

have become predominantly complex in nature. Complex requests are voluminous, require a significant

number of consultations, require searches in numerous offices domestically and abroad, and take

significant time to review due to the sensitivity of the responsive records. Almost all referrals received

by the Department are considered simple requests; however, the Department received over 11,000

referrals this fiscal year. The large volume of these referrals has resulted in slower turnaround times for

simple requests.

During this fiscal year the Department experienced a 60 percent increase in FOIA lawsuits over fiscal

year 2013. The majority of new lawsuits involved voluminous sensitive records that required careful

coordination with other federal agencies. To meet the demands of this upswing in FOIA lawsuits, the

Department reallocated resources from FOIA processing to FOIA litigation, which directly impacted

efforts to manage and reduce the backlog of pending FOIA requests that are not in litigation.


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Despite all efforts, including employing best practices established during the successful backlog

reduction project in fiscal year 2013 as well as processing over 88 percent of the thousands of referrals

that were pending from last fiscal year and received by the Department this fiscal year, the FOIA request

backlog rose by 15.8 percent this fiscal year. However, the Department achieved a significant reduction

in the FOIA appeal backlog lowering the backlog by 13.7 percent. The Department also closed its ten

oldest requests and consultations. These accomplishments are especially noteworthy in light of the fact

that the Department reallocated FOIA processing resources to address large, complex FOIA litigation

cases and to provide assistance to the Department on significant special document productions

throughout the fiscal year.

Agency / Component

Number of

Requests

Pending as of

Start

of Fiscal Year

Number of

Requests

Received

in Fiscal Year

Number of

Requests

Processed

in Fiscal Year

Number of

Requests

Pending as of End

of Fiscal Year

DoS 9,363 19,625 18,023 10,965

OIG 9 71 71 9

AGENCY OVERALL 9,372 19,696 18,094 10,974

* The Department of State’s FOIA Annual Report for FY 2013 reported that the number of cases pending at the end of the fiscal year

for State was 9,482. As a result of our data reconciliation and validation efforts, we have determined that the number should have

been 9,363; that corrected number is reflected here.

** The number of cases received and processed as reported in Section V. includes consultations, based on the manner in which direct

requests, referrals and consultations are tracked in the Department’s case management system.

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V.B.(1). DISPOSITION OF FOIA REQUESTS -- ALL PROCESSED REQUESTS

Agency /

Component

Number

of Full

Grants

Number

of Partial

Grants /

Partial

Denials

Number of

Full Denials

Based on

Exemptions

Number of Full Denials Based on Reasons Other than Exemptions

No

Records

All Records

Referred to

Another

Component

or Agency

Request

Withdrawn

Fee-

Related

Reason

Records

not

Reasonably

Described

Improper

FOIA

Request

for Other

Reason

Not

Agency

Record

Duplicate

Request

Other

*Explain

in Chart

Below

TOTAL

DoS 2,640 3,664 6,623 488 335 407 46 2,378 694 645 103 0 18,023

OIG 5 45 4 11 0 6 0 0 0 0 0 0 71

AGENCY

OVERALL 2,645 3,709 6,627 499 335 413 46 2,378 694 645 103 0 18,094

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V.B.(2). DISPOSITION OF FOIA REQUESTS -- "OTHER" REASONS FOR "FULL DENIALS

BASED ON REASONS OTHER THAN EXEMPTIONS"

Agency /

Component Description of "Other" Reasons for Denials from Chart B(1)

Number of Times

"Other" Reason

Was Relied Upon

TOTAL

DoS N/A 0 0

OIG N/A 0 0

AGENCY

OVERALL 0

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V.B.(3). DISPOSITION OF FOIA REQUESTS -- NUMBER OF TIMES EXEMPTIONS APPLIED

Agency /

Component Ex. 1 Ex. 2 Ex. 3 Ex. 4 Ex. 5 Ex. 6 Ex. 7(A) Ex. 7(B) Ex. 7(C) Ex. 7(D) Ex. 7(E) Ex. 7(F) Ex. 8 Ex. 9

DoS 387 27 9,226 71 242 2,584 44 10 150 21 253 21 0 0

OIG 2 0 1 1 18 45 1 0 30 0 1 3 0 0

AGENCY

OVERALL 389 27 9,227 72 260 2,629 45 10 180 21 254 24 0 0

*As noted in Section IV., almost all of the Department's withholdings under Exemption 3 relate to information pertaining to the issuance

and refusal of a visa or permits to enter the United States that must be protected under the Immigration and Nationality Act. With this

statute, the Department has no discretion to release the requested information.

20

VI.A. ADMINISTRATIVE APPEALS OF INITIAL DETERMINATIONS OF FOIA REQUESTS --

RECEIVED, PROCESSED, AND PENDING ADMINISTRATIVE APPEALS

Agency / Component

Number of Appeals

Pending as of Start

of Fiscal Year

Number of

Appeals Received

in Fiscal Year

Number of

Appeals Processed

in Fiscal Year

Number of Appeals

Pending as of End

of Fiscal Year

DoS 293 351 382 262

OIG 3 5 0 8

AGENCY OVERALL 296 356 382 270

* The Department of State’s FOIA Annual Report for FY 2013 reported that the number of appeals pending at the end of the fiscal year

for State was 310. As a result of our data reconciliation and validation efforts, we have determined that the number should have been

293; that corrected number is reflected here.

21

VI.B. DISPOSITION OF ADMINISTRATIVE APPEALS -- ALL PROCESSED APPEALS

Agency / Component Number Affirmed on

Appeal

Number Partially

Affirmed & Partially

Reversed/Remanded on

Appeal

Number Completely

Reversed/Remanded on

Appeal

Number of Appeals

Closed for Other

Reasons

TOTAL

DoS 236 60 61 25 382

OIG 0 0 0 0 0

AGENCY OVERALL 236 60 61 25 382

22

VI.C.(1). REASONS FOR DENIAL ON APPEAL -- NUMBER OF TIMES EXEMPTIONS APPLIED

Agency /

Component Ex. 1 Ex. 2 Ex. 3 Ex. 4 Ex. 5 Ex. 6 Ex. 7(A) Ex. 7(B) Ex. 7(C) Ex. 7(D) Ex. 7(E) Ex. 7(F) Ex. 8 Ex. 9

DoS 55 15 164 9 22 51 2 0 13 2 9 1 0 0

OIG 0 0 0 0 0 0 0 0 0 0 0 0 0 0

AGENCY

OVERALL 55 15 164 9 22 51 2 0 13 2 9 1 0 0

*As noted in Section IV., almost all of the Department's withholdings under Exemption 3 relate to information pertaining to the issuance

and refusal of a visa or permits to enter the United States that must be protected under the Immigration and Nationality Act. With this

statute, the Department has no discretion to release the requested information.

23

VI.C.(2). REASONS FOR DENIAL ON APPEAL -- REASONS OTHER THAN EXEMPTIONS

Agency /

Component

No

Records

Records

Referred at

Initial

Request

Level

Request

Withdrawn

Fee-

Related

Reason

Records

not

Reasonably

Described

Improper

Request

for Other

Reasons

Not

Agency

Record

Duplicate

Request or

Appeal

Request in

Litigation

Appeal

Based

Solely on

Denial of

Request

for

Expedited

Processing

Other

*Explain in

chart

below

DoS 12 0 4 17 0 0 1 0 4 38 16

OIG 0 0 0 0 0 0 0 0 0 0 0

AGENCY

OVERALL 12 0 4 17 0 0 1 0 4 38 16

24

VI.C.(3). REASONS FOR DENIAL ON APPEAL -- "OTHER" REASONS

Agency /

Component Description of "Other" Reasons for Denial on Appeal from Chart C(2)

Number of Times

"Other" Reason

Was Relied Upon

TOTAL

DoS Interagency Coordination 8

16 Document transferred to another agency 3

Records deemed non-responsive on appeal 2

Inadequacy of search - remanded 3

AGENCY

OVERALL 16

25

VI.C.(4). RESPONSE TIME FOR ADMINISTRATIVE APPEALS

Agency / Component Median Number of Days Average Number of

Days Lowest Number of Days

Highest Number of

Days

DoS 140.00 270.00 <1 1,809.95

OIG 0.00 0.00 0.00 0.00

AGENCY OVERALL 140.00 270.00 <1 1,809.95

26

VI.C.(5). TEN OLDEST PENDING ADMINISTRATIVE APPEALS

Agency /

Component

10th Oldest

Appeal 9th 8th 7th 6th 5th 4th 3rd 2nd

Oldest

Appeal

DoS

Date of Appeal 2011-01-25 2010-11-15 2010-11-08 2010-10-18 2010-09-24 2010-09-01 2010-07-14 2010-01-07 2009-10-21 2009-09-14

Number of Days

Pending 958 1008 1013 1028 1045 1062 1096 1230 1286 1312

OIG

Date of Appeal N/A N/A 2014-07-10 2014-04-04 2014-03-19 2014-02-28 2014-02-11 2013-05-30 2013-04-26 2013-04-18

Number of Days

Pending 0 0 57 124 137 149 162 251 296 302

AGENCY

OVERALL

Date of Appeal 2011-01-25 2010-11-15 2010-11-08 2010-10-18 2010-09-24 2010-09-01 2010-07-14 2010-01-07 2009-10-21 2009-09-14

Number of Days

Pending 958 1008 1013 1028 1045 1062 1096 1230 1286 1312

27

VII.A. FOIA REQUESTS -- RESPONSE TIME FOR ALL PROCESSED PERFECTED REQUESTS

The Department uses two processing tracks for distinguishing simple requests from more complex ones. Requests are placed in

processing tracks based on the degree of effort required to complete them, such as the number of searches required, the location

of the records, the volume of responsive records, the complexity of the search and review needed, the sensitivity of the records,

and the need for consultation. Because the Department’s search function is performed globally and many records are classified,

for most contemporary records we usually do not know the number and complexity of responsive records until all searches have

been completed. Similarly, until we have had the opportunity to review the records we do not know the extent of consultation

with other offices, agencies, or governments that is necessary. For these reasons, requests can move between tracks. For example,

a seemingly simple new case can become complex when searches come back with voluminous amounts of material or

particularly sensitive records that require multiple consultations. For this reason, a case may continue to be tracked as “simple,”

but very few requests remain in the “simple” category at the Department when processing is completed.

Many FOIA/Privacy Act requests received by the Department require searches of multiple records systems, offices, and/or

overseas posts. In an effort to provide the fastest and most efficient responses to requests, the Department typically processes

these requests incrementally. Thus, as we retrieve and review material responsive to these requests, we process it and provide

responsive nonexempt records to the requester on a rolling basis rather than waiting until all searches and reviews are done.

These incremental releases are not reflected in the charts below; the number of days reflects the time at which all searches and

reviews for a particular request were completed.

28

Agency /

Component

SIMPLE COMPLEX EXPEDITED PROCESSING

Median

Number

of Days

Average

Number

of Days

Lowest

Number

of Days

Highest

Number

of Days

Median

Number

of Days

Average

Number

of Days

Lowest

Number

of Days

Highest

Number

of Days

Median

Number

of Days

Average

Number

of Days

Lowest

Number

of Days

Highest

Number

of Days

DoS 66.2 91 3.56 1576 333 534.8 11.4 2237 100.4 385.6 45.6 1482

OIG 11 21 1 108 N/A N/A N/A N/A N/A N/A N/A N/A

AGENCY

OVERALL 66 90 1 1576 333 534.8 11.4 2237 100.4 385.6 45.6 1482

* The majority of cases reported in the Expedited Processing category are complex cases.

29

VII.B. PROCESSED REQUESTS -- RESPONSE TIME FOR PERFECTED REQUESTS IN WHICH INFORMATION WAS

GRANTED

Agency /

Component


Median

Number

of Days

Average

Number

of Days

Lowest

Number

of Days

Highest

Number

of Days

Median

Number

of Days

Average

Number

of Days

Lowest

Number

of Days

Highest

Number

of Days

Median

Number

of Days

Average

Number

of Days

Lowest

Number

of Days

Highest

Number

of Days

DoS 91.9 122.7 9.9 1576 367 578.8 11.4 2237 93.3 396.7 45.6 1482

OIG 22 30.7 2 108 N/A N/A N/A N/A N/A N/A N/A N/A

AGENCY

OVERALL 90 120 2 1576 367 578.8 11.4 2237 93.3 396.7 45.6 1482

30

VII.C. PROCESSED SIMPLE REQUESTS -- RESPONSE TIME IN DAY INCREMENTS

Agency /

Component

<1-20

Days

21-40

Days

41-60

Days

61-80

Days

81-100

Days

101-120

Days

121-140

Days

141-160

Days

161-180

Days

181-200

Days

201-300

Days

301-400

Days

401+

Days TOTAL

DoS 746 2,303 2,101 2,156 1,431 1,057 376 312 241 186 492 171 226 11,798

OIG 42 17 3 1 0 1 0 0 0 0 0 0 0 64

AGENCY

OVERALL 788 2,320 2,104 2,157 1,431 1,058 376 312 241 186 492 171 226 11,862

31

VII.C. PROCESSED COMPLEX REQUESTS -- RESPONSE TIME IN DAY INCREMENTS

Agency /

Component

<1-20

Days

21-40

Days

41-60

Days

61-80

Days

81-100

Days

101-120

Days

121-140

Days

141-160

Days

161-180

Days

181-200

Days

201-300

Days

301-400

Days

401+

Days TOTAL

DoS 11 58 48 46 60 57 76 139 93 112 464 319 1,063 2,546

OIG 0 0 0 0 0 0 0 0 0 0 0 0 0 0

AGENCY

OVERALL 11 58 48 46 60 57 76 139 93 112 464 319 1,063 2,546

32

VII.C. PROCESSED REQUESTS GRANTED EXPEDITED PROCESSING -- RESPONSE TIME IN DAY INCREMENTS

Agency /

Component

<1-20

Days

21-40

Days

41-60

Days

61-80

Days

81-100

Days

101-120

Days

121-140

Days

141-160

Days

161-180

Days

181-200

Days

201-300

Days

301-400

Days

401+

Days TOTAL

DoS 0 0 3 1 2 1 0 0 0 1 0 0 4 12

OIG 0 0 0 0 0 0 0 0 0 0 0 0 0 0

AGENCY

OVERALL 0 0 3 1 2 1 0 0 0 1 0 0 4 12

33

VII.D. PENDING REQUESTS -- ALL PENDING PERFECTED REQUESTS

Agency / Component


Number

Pending

Median

Number of

Days

Average

Number of

Days

Number

Pending

Median

Number of

Days

Average

Number of

Days

Number

Pending

Median

Number of

Days

Average

Number of

Days

DoS 1333 254 373.8 9220 332.6 510 13 173.8 332.5

OIG 8 10 80.9 0 N/A N/A 0 N/A N/A

AGENCY OVERALL 1341 252 370 9220 332.6 510 13 173.8 332.5

34

VII.E. PENDING REQUESTS -- TEN OLDEST PENDING PERFECTED REQUESTS

Agency /

Component

10th Oldest

Request 9th 8th 7th 6th 5th 4th 3rd 2nd

Oldest

Request

DoS

Date of Receipt 2006-05-10 2006-05-02 2006-04-26 2006-04-23 2006-04-02 2006-03-29 2006-02-28 2006-02-27 2006-02-20 2006-02-14

Number of Days

Pending 2184 2189 2194 2196 2211 2214 2234 2235 2240 2244

OIG

Date of Receipt N/A N/A 2014-09-19 2014-09-19 2014-09-19 2014-09-09 2014-08-25 2014-08-25 2013-06-11 2013-06-11

Number of Days

Pending 0 0 7 7 7 15 25 25 309 309

AGENCY

OVERALL

Date of Receipt 2006-05-10 2006-05-02 2006-04-26 2006-04-23 2006-04-02 2006-03-29 2006-02-28 2006-02-27 2006-02-20 2006-02-14

Number of Days

Pending 2184 2189 2194 2196 2211 2214 2234 2235 2240 2244

*At the Department, the oldest requests generally are still pending due to the existence of one or more of these factors: (1) the number

of searches required; (2) the need for multiple consultations with other agencies or governments; (3) the need to coordinate a

response with multiple agencies or governments; (4) the need to search in offices located overseas; (5) the volume of responsive

material to be reviewed; and (6) the need to review classified material.

35

VIII.A. REQUESTS FOR EXPEDITED PROCESSING

Agency /

Component Number Granted Number Denied

Median Number of

Days to

Adjudicate

Average Number

of Days to

Adjudicate

Number

Adjudicated

Within Ten

Calendar Days

DoS 14 392 6 9.15 322

OIG 0 0 N/A N/A N/A

AGENCY

OVERALL 14 392 6 9.15 322

36

VIII.B. REQUESTS FOR FEE WAIVER

Agency /

Component Number Granted Number Denied

Median Number of

Days to

Adjudicate

Average Number

of Days to

Adjudicate

DoS 406 275 1 7

OIG 0 0 N/A N/A

AGENCY

OVERALL 406 275 1 7

37

IX. FOIA PERSONNEL AND COSTS

Agency /

Component

PERSONNEL COSTS

Number of "Full-

Time FOIA

Employees"

Number of

"Equivalent Full-

Time FOIA

Employees"

Total Number

of "Full-Time

FOIA Staff"

Processing Costs Litigation-Related

Costs Total Costs

DoS 63.5 62.09 125.59 $15,967,096.00 $2,074,925 $18,042,021

OIG 1 0.5 1.5 $292,290.28 $0.00 $292,290.28

AGENCY

OVERALL 64.5 62.59 127.09 $16,259,386.28 $2,074,925 $18,334,311.28

Processing costs include a percentage of the costs incurred by IT staff who were employed to support the FOIA program as one of their major

duties, though IT staffing numbers are not reflected in personnel data column.

The “Equivalent Full-Time FOIA Employees” include When Actually Employed (WAE) former Foreign Service Officers who perform document

review and students who work part-time throughout the year to process FOIA requests.

38

X. FEES COLLECTED FOR PROCESSING REQUESTS

Agency / Component Total Amount of Fees

Collected

Percentage of Total

Costs

DoS $6,785.00 0.04%

OIG $31.35 0.01%

AGENCY OVERALL $6,816.35 0.04%

39

XII.A. BACKLOGS OF FOIA REQUESTS AND ADMINISTRATIVE APPEALS

Agency / Component

Number of Backlogged

Requests as of End of

Fiscal Year


Appeals as of End of

Fiscal Year

DoS 10,041 227

OIG 4 8

AGENCY OVERALL 10,045 235

40

XII.B. CONSULTATIONS ON FOIA REQUESTS -- RECEIVED, PROCESSED, AND

PENDING CONSULTATIONS

Agency / Component

Number of

Consultations Received

from Other Agencies

that were Pending at the

Agency as of Start

of the Fiscal Year

Number of


from Other Agencies

During the Fiscal Year

Number of


from Other Agencies

that were Processed by

the Agency During the

Fiscal Year

Number of


from Other Agencies

that were Pending at the

Agency as of End

of the Fiscal Year

DoS 1,669 11,554 11,752 1,471

OIG 0 0 0 0

AGENCY OVERALL 1,669 11,554 11,752 1,471

* The Department’s case management system tracks FOIA requests filed directly with the Department, those that were received from

another agency for consultation, and those that were referred from another agency for processing and direct response by the

Department to the requester. This chart groups referrals and consultations together.

**As reported in the Department of State’s FOIA Annual Report FY 2013, the number of consultations pending at the end of the fiscal

year was 1,702. As a result of our data reconciliation and validation efforts we have determined that the number reported here (1,669)

is correct.

41

XII.C. CONSULTATIONS ON FOIA REQUESTS -- TEN OLDEST CONSULTATIONS RECEIVED FROM OTHER AGENCIES

AND PENDING AT THE AGENCY

Agency /

Component

10th Oldest

Consultation 9th 8th 7th 6th 5th 4th 3rd 2nd

Oldest

Consultation

DoS

Date 2009-01-26 2009-01-09 2008-12-22 2008-12-01 2008-12-01 2008-10-21 2008-08-26 2008-08-11 2008-08-08 2008-07-21

Number of Days 1477 1489 1502 1517 1517 1546 1586 1597 1599 1612

OIG

Date N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A

Number of Days 0 0 0 0 0 0 0 0 0 0

AGENCY

OVERALL

Date 2009-01-26 2009-01-09 2008-12-22 2008-12-01 2008-12-01 2008-10-21 2008-08-26 2008-08-11 2008-08-08 2008-07-21

Number of Days 1477 1489 1502 1517 1517 1546 1586 1597 1599 1612

42

XII.D.(1). COMPARISON OF NUMBERS OF REQUESTS FROM PREVIOUS AND CURRENT ANNUAL REPORT --

REQUESTS RECEIVED AND PROCESSED

Agency / Component

NUMBER OF REQUESTS RECEIVED NUMBER OF REQUESTS PROCESSED

Number Received

During Fiscal Year from

Last Year's Annual

Report

Number Received


Current Annual Report

Number Processed


Last Year's Annual

Report

Number Processed



DoS 18,673 19,625 21,018 18,023

OIG 80 71 79 71

AGENCY OVERALL 18,753 19,696 21,097 18,094

43

XII.D.(2). COMPARISON OF NUMBERS OF REQUESTS FROM PREVIOUS AND CURRENT

ANNUAL REPORT -- BACKLOGGED REQUESTS

Agency / Component


Requests as of End of the

Fiscal Year from Previous

Annual Report


Requests as of End of the

Fiscal Year from Current

Annual Report

DoS 8,665 10,041

OIG 4 4

AGENCY OVERALL 8,669 10,045

44

XII.E.(1). COMPARISON OF NUMBERS OF ADMINISTRATIVE APPEALS FROM PREVIOUS AND CURRENT ANNUAL

REPORT -- APPEALS RECEIVED AND PROCESSED

Agency / Component

NUMBER OF APPEALS RECEIVED NUMBER OF APPEALS PROCESSED

Number Received


Last Year's Annual

Report

Number Received



Number Processed


Last Year's Annual

Report

Number Processed



DoS 276 351 367 382

OIG 6 5 3 0

AGENCY OVERALL 282 356 370 382

45

XII.E.(2). COMPARISON OF NUMBERS OF ADMINISTRATIVE APPEALS FROM

PREVIOUS AND CURRENT ANNUAL REPORT -- BACKLOGGED APPEALS

Agency / Component


Appeals as of End of the

Fiscal Year from Previous

Annual Report


Appeals as of End of the

Fiscal Year from Current

Annual Report

DoS 272 227

OIG 0 8

AGENCY OVERALL 272 235

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